SEC Form 4 · accession 0001398113-16-000011
Harvest Capital Credit Corp · HCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph A Jolson
Director
Period of report
Sep 14, 2016
Accepted (ET)
Sep 16, 2016 · 1:13 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001559909
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F3,F4 | Sep 14, 2016 | P | 5,800 | $12.38 | A | 434,987 | I | By Jolson 1991 Trust |
| Common StockF2,F5,F4 | Sep 15, 2016 | P | 13,740 | $12.40 | A | 448,727 | I | By Jolson 1991 Trust |
| Common Stock | holding | — | — | — | 10,000 | I | By Daughter | |
| Common Stock | holding | — | — | — | 20,000 | D | ||
| Common StockF1 | holding | — | — | — | 35,768 | I | By Foundation |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects shares of common stock held by The Jolson Family Foundation, of which Mr. Jolson is President and Treasurer. Mr. Jolson disclaims beneficial ownership of the shares.
- F2Reflects the acquisition of common shares pursuant to the Rule 10b5-1 purchase plan of the Reporting Person.
- F3The price reflects the weighted average purchase price. The purchase prices for these transactions ranged from 12.35 to 12.40. The Reporting Person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased.
- F4Reflects shares of common stock held by the Joseph A. Jolson 1991 Trust, of which Mr. Jolson is the trustee.
- F5The price reflects the weighted average purchase price. The purchase prices for these transactions ranged from 12.36 to 12.40. The Reporting Person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased.